JUPITER ASSET MANAGEMENT LIMITED of LONDON is an SEC-registered investment adviser (CRD 306863). Regulatory assets under management: $68.2B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance, Other.
Clients served: Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| Morgan N Robert | DIRECTOR | Manchester, VT |
| Wayne Nmn Mepham | CHIEF EXECUTIVE OFFICER & DIRECTOR, GROUP CHIEF FINANCE OFFICER; DIRECTOR | — |
| Matthew Charles Beesley | CHIEF EXECUTIVE OFFICER; GROUP CHIEF EXECUTIVE OFFICER | — |
| Tracey Kinsella | DIRECTOR | — |
| Catherine Elizabeth Carter | CHIEF COMPLIANCE OFFICER | — |
| Thomas Nicholas Owen | DIRECTOR | — |
| Kiranpal Kaur Nandra-Koehrer | DIRECTOR | — |
| Matthew Adam Robert Morgan | DIRECTOR | — |
| BEESLEY MATTHEW CHARLES | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER & DIRECTOR; CHIEF INVESTMENT OFFICER & DIRECTOR | — |
| OWEN THOMAS NICHOLAS | DIRECTOR | — |
| PARKER ROBERT VERNON | DIRECTOR | — |
| LAZENBY WENDY CHRISTINA VERONICA | CHIEF COMPLIANCE OFFICER | — |
| PEARSON STEPHEN BRIAN | DIRECTOR | — |
| DRYER KATHARINE GRACE | DIRECTOR | — |
| MEPHAM WAYNE NMN | DIRECTOR | — |
| Carter Shelley Elizabeth | CHIEF COMPLIANCE OFFICER | — |
| Kinsella Tracey | DIRECTOR | — |
| Hollingshead Alison Joanne | DIRECTOR | — |
| Nandra-Koehrer Kiranpal Kaur | DIRECTOR | — |
| Piers Adrian Carlyle Hillier | CHIEF INVESTMENT OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-01-25 | regulatory | PURSUANT TO REGULATION (EU) NO. 236/2012 ON SHORT SELLING (THE "REGULATION"), MERIAN GLOBAL INVESTORS (UK) LIMITED ("MGI") IS REQUIRED TO FILE NET SHORT POSITION REPORTS (THE "REPORTS") WITH THE DANISH FINANCIAL SUPERVISORY AUTHORITY ("DANISH FSA") WHEN CERTAIN PRESCRIBED THRESHOLDS ARE CROSSED. IN… | Final | — |
| 2018-01-18 | regulatory | PURSUANT TO REGULATION (EU) NO. 236/2012 ON SHORT SELLING (THE "REGULATION"), JUPITER INVESTMENT MANAGEMENT LIMITED ("JIML") IS REQUIRED TO FILE NET SHORT POSITION REPORTS (THE "REPORTS") WITH FINANSINSPEKTIONEN (THE SWEDISH FINANCIAL SUPERVISORY AUTHORITY) ("SWEDISH FSA") WHEN CERTAIN PRESCRIBED TH… | Final | $80K |
| 2018-01-18 | regulatory | PURSUANT TO REGULATION (EU) NO. 236/2012 ON SHORT SELLING (THE "REGULATION"), JUPITER INVESTMENT MANAGEMENT LIMITED ("JIML") IS REQUIRED TO FILE NET SHORT POSITION REPORTS (THE "REPORTS") WITH THE AUTORITEIT FINANCIELE MARKTEN (THE DUTCH FINANCIAL SUPERVISORY AUTHORITY) WHEN CERTAIN PRESCRIBED THRES… | Final | $298K |
| 2018-01-10 | regulatory | PURSUANT TO REGULATION (EU) NO. 236/2012 ON SHORT SELLING (THE "REGULATION"), MERIAN GLOBAL INVESTORS (UK) LIMITED ("MGI") IS REQUIRED TO FILE NET SHORT POSITION REPORTS (THE "REPORTS") WITH THE COMMISSIONE NAZIONALE PER LE SOCIETA E LA BORSA ("CONSOB") WHEN CERTAIN PRESCRIBED THRESHOLDS ARE CROSSED… | Final | $180K |
| 2018-01-10 | regulatory | PURSUANT TO REGULATION (EU) NO. 236/2012 ON SHORT SELLING (THE "REGULATION"), MERIAN GLOBAL INVESTORS (UK) LIMITED ("MGI") IS REQUIRED TO FILE NET SHORT POSITION REPORTS (THE "REPORTS") WITH THE COMISION NACIONAL DEL MERCADO DE VALORES IN SPAIN ("CNMV") WHEN CERTAIN PRESCRIBED THRESHOLDS ARE CROSSED… | Final | $225K |
| 2016-04-05 | regulatory | THE FEDERAL FINANCIAL SUPERVISORY AUTHORITY OF GERMANY ("BAFIN") ALLEGED THAT JUPITER ASSET MANAGEMENT LIMITED ("JAM UK") DID NOT HAVE SUFFICIENT PROCEDURES IN PLACE TO ENSURE COMPLIANCE WITH GERMAN LAW REGARDING NOTIFICATION OF BAFIN OF SIGNIFICANT SHAREHOLDERS IN GERMAN SECURITIES | Final | $56K |
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| JUPITER GEARX MASTER FUND LIMITED | Hedge Fund | Cayman Islands | 23 | $74.7M | $100K |
| JUPITER GEARX FUND LIMITED | Hedge Fund | Cayman Islands | 21 | $64.3M | $100K |
| JUPITER GEARX FUND LP | Hedge Fund | Cayman Islands | 2 | $10.5M | $500K |